3 PODULAR, DIRECT SUPERVISION JAILS INFORMATION PACKET his packet contains a collection of articles designed to give the reader Tbasic information on the principles of podular, direct supervision and local detention s experience with it. The information here is not comprehensive but should serve as an introduction to the concept. Further information is available through the National Institute of Corrections (NIC) Jail Center and Information Center. The NIC Jails Division provides information, technical assistance, and training related to planning for and operating a podular, direct supervision jail. The Jails Division welcomes questions about its services and can be reached at: NIC Jails Division 1960 Industrial Circle, Suite A Longmont, CO (303) The NIC Information Center maintains a large library of materials on all aspects of corrections, including direct supervision. Requests for information or materials should be directed to: NIC Information Center 1860 Industrial Circle, Suite A Longmont, CO (303)

7 DIRECT SUPERVISION OF CORRECTIONAL INSTITUTIONS Richard Wener, F.W. Frazier, Jay Farbstein 1987 here is an overpowering Tsmell in the air of urine, sweat, stale food, and Pinesol. Dirty, graffitied walls and littered floors of cold gray concrete, with steel bar doors, remind one of zoo cages, designed to be washed down with a hose. Blaring TV, banging doors, yelling men, make the noise deafening. Most of the inmates are young and have been there before. This is their turf. A few wander about, obviously mentally ill. The few uniformed officers remain secure behind a row of bars. One occasionally hurries in and out of this area on some mission, but little eye contact or personal contact is established. That scene is not unlike those movie buffs would recognize as the slammer from the late show. But, how about this one? A sunlit room with carpeted floors, attractive, soft furniture covered with fabrics of muted greys combined with bright blues and reds. Men joke around ordinary card tables while playing checkers. In a corner, several watch TV while sitting on an upholstered couch. The uniformed officer strolls by and stops to chat. An inmate asks her to open the door to his room so he can use the toilet. The room has a bed sink, desk with desk lamp, and window with a view of the city street below. The first scene closely resembles many of the 3,000 jails and 600 prisons in the U.S. today. The old Tombs, the infamous Manhattan House of Detention--was like this, only worse: a dangerous bedlam of bodies jammed into too-small cages, until it became uncontrollable and was closed by a federal court order in The second scene use of a new model of management and design known as Direct Supervision models. Officers and inmates come from the same population as before. Crime statistics haven t improved, and violence has, if anything, become more common. What has changed is the design and management of these particular new institutions. This system is not for every inmate. Careful classification and screening usually weed out five to ten percent of incoming inmates-such as those who arc mentally ill, those who are especially violent-for more structured settings. But it seems able to work in almost any jurisdiction and type of incarceration--jails (pretrial, short-term detention) as well as prisons (sentenced, longerterm institutions). When the Federal Bureau of Prisons, traditionally the most innovative force in American corrections, developed the direct supervision model, it was trying to follow a basic The direct supervision style is acombination of management and operational philosophy, design features, and staff training. It has spread from experiences of the U. S. Bureau of Prisons in several prisons and three prototypical jails built in the 1970s to a dozen county jails within a dozen more in various stages of construction. Over the past 10 years, we have formally evaluated several of these facilities and found that they work well, to a degree few corrections veterans or psychologists would have imagined. -l-

8 directive: If you can t rehabilitate, at least do no harm. " Three federal Metropolitan Correctional Centers (MCCs) were built in Chicago, New York, and San Diego to provide humane, secure detention. The key concept was direct supervision-placing officers in housing units and not in control booths, in constant and direct contact with inmates. This philosophy was difficult to implement in older facilities designed to keep officers and inmates separate. The architecture of the MCCs allowed direct supervision to work as intended. The first reaction to this arrangement by traditional wardens, jail officials, and most visitors is usually astonishment. They think of the public and staff safety in terms of hard barriers between US and THEM The new design seemingly places officers at the mercy of inmates. But our research with the MCCs showed just the opposite. Officers in constant and direct contact with inmates get to know them and can recognize and respond to trouble before it escalates into violence. They arc no longer forced to wait to respond after trouble starts. Negotiation and communication become more important staff skills than brute strength. (There is, for example, strong evidence that female officers do at least as well as male officers while working on male units. Females make up as much as 40% of the officer corps in these institutions.) Compared to traditional jails of similar size, the MCCs and other direct supervision jails report much less conflict among inmates, and between inmates and staff. Violent incidents ate reduced 30% to 90% and homosexual rape virtually disappears. There are similar dramatic drops in vandalism and graffiti. In the new jail at Pima County, Arizona, for example, the number of damaged mattresses dropped from 150 per year to none in two years; from an average of two TVs needing repair per week to two in two years; and from an average of 99 sets of inmate clothes destroyed per week to 15 sets in two years. This is accomplished in jails that are, in the long run, cheaper to construct than traditional jails. Because vandalism is so ram, construction money can be saved by using standard materials (such as porcelain plumbing and ordinary lighting fixtures) instead of more costly vandal-proof versions. It is impossible to directly compare operating costs, because the level of programs for inmates provided varies greatly among direct and indirect supervision jails. But in looking at personnel costs (which can account for as much as 70% of the operating budget), one can note that sick leave is generally lower in direct supervision jails (by as much as 50% in the Tombs), while job satisfaction among officers is higher. A most striking finding was the high level of agreement between officers and inmates on the advantages of direct supervision. While roles remain distinct, officers generally acknowledged that what was good for inmates helped staff as well, by reducing tension and improving conditions. This agreement extended to their joint criticism of some features of the MCCs-confining all activities to the small housing unit was restrictive, monotonous, and excessively boring. (While the excessive boredom can and has been improved, it is vastly superior as a predominant experience than a sense of terror.) They also complained about the air quality in scaled, environmentally regulated buildings, a complaint echoed by workers in many modem office buildings. Our studies showed that, over-

9 all, the new approach produced a string of successes in a field better known for its failures. Curiously, despite the successes, the federal model didn t initially sell well among local correctional officials, who were not convinced this model would work in their systems, with their inmates. Finally, in the late 1970s. officials in one California county, Contra Costa, were impressed by the tension-free atmosphere at the MCC in Chicago. They used it as a model for their own jail, making design improvements based in part on the recommendations of our study, which they later used as a staff training document. For example, Contra Costa provided outdoor recreation yards for each living unit. Key features were the same, however. The officer remained inside the living area. Inmates had easy access to television, phones, and other services. The design used carpeting, comfortable furniture, pleasant colors, and provided for inmate privacy. When we evaluated the Contra Costa County Jail, we found the same compelling results we had in the MCCs. Assaults were rare, down 90%fromthe old facility. Homosexual rape had disappeared. Vandalism and graffiti were nonexistent. Contra Costa s experience convinced some visiting correctional officials. One commented: "I must say that I felt your type of Operation was, to sap the least, a very liberal approach to incarceration-that was prior to (my tour)... it became quite evident that the approach was not necessarily liberal but instead practical The lack of tension could be felt... Some (of us) thought the prisoners were tranquilized We soon realized that the prisoners were not drugged. They were instead reacting to the environment... Others, however, argued that these inmates were not as tough as those in their system. This argument became harder to make after the successful opening of the Tombs in New York City. It followed the direct supervision model, although rather conservatively, as a concession to internal concerns that New York might, indeed, be a special tougher case. These concessions included providing smaller inmate-tostaff ratios (35:l vs : l-)-and harder finishes. The exposed officers desks were designed so that they could later be enclosed in glass if needed. The partitions have never been used In its first two years of operation, the Tombs has performed better than any other New York City jail. Vandalism and graffiti cannot be found on living units. (Some visitors suggest it may be the only building in New York without graffiti!) There were no homicides, suicides, or sexual assaults, or escapes, and only 52 incidents of inmate-inmate or inmate-staff assaults during the first two years, about as many as may occur weekly in some other city facilities. Inmates rarely made or smuggled in weapons, not because it was difficult to do so, but because, they told us, they didn t feel the fear which drives prisoners to obtain weapons for self protection. The Tombs is not problemfree, nor are most other direct supervision jails. Serious difficulties often occur in intake and receiving areas, places most like traditional jails in design and operation. There, anxiety levels are highest as people who, hours before, were free now become inmates and at placed in hard, barren cells with a doxen or more others. There is also no privacy-toilets are often open stalls in the corner oftheccll. These areas typically have partitions are broken. Staff and inmates call these places the most dangerous in the facility

10 By contrast, the Contra Costa jail designed the intake area to be like the rest of the facility. Most inmates wait in open carpeted lounges, much like a doctor s waiting room. Televisions and magazines are available, as is access to phones, water, and toilets. The strategy appears to work. These areas did not suffer the mistreatment of their counterparts in the Tombs and other direct supervision jails. These jails seem to succeed because of a management philosophy that commits the organization to the methods and training needed for direct supervision, and complementary physical design that supports its function. Tom Barry, former warden of the Tombs, notes: Jail design is to the correctional staff what tools are to the plumber. You can get the job done with out-ofdate tools, but not as weil or as easily. VIOLENCE AND VANDALISM Many feel that jails are inevitably violent settings, because of the aggressive nature of inmates. The experience of direct supervision jails. however, reinforces the notion that violent personality is not a sufficient explanation. The physical and social environment play a critical role in a number of ways. peed, what will be reinforced, and what punished. The setting of a traditional jail suggests that animal-like behavior is likely and expected. Inmates are placed in hard cages, while staff maintain a safe distance on the other side of steel bars. The National Institute of Corrections has identified a series of basic management prin- ciples for operating direct su- pervision institutions. Our interviews and observations suggest how this system manages to mitigate two major jail problems-violence and vandalism. Direct supervision sends a very different message. The open setting, use of colors and materials atypical of institu- tions, presence of an officer in the living area, and use of nonsecure furniture and fixtures all speak of positive, prosocial behavior. Although no one would mistake it for anything First, the physical and social environment plays a role in setting behavioral expectations. The cues provided by the behavior we observe of others and the messages implicit in the physical setting help define for us the behavioral norm of a placeother than a jail, it is a jail with a different set of behavior norms. Second, the presence of the officer constantly in and among the inmates plays a powerful role in improving safety. The officer continually interacts with the inmates and can learn of and respond to problems before they explode into disruptions. This presence reduces inmates fear and the macho posturing that often leads to serious fights. Inmates repeatedly told us that they knew the man would be there to intervene if they were attacked. In traditional jails, officers often do not know about an attack, or wait to respond until the fight is over. The close officer-inmate contact, and close management supervision of officers assures that officers and inmates will be held accountable for their actions. Third these facilities typically provide considerably more privacy for inmates than do traditional jails. By being able to go to their own room whenever desired, inmates can cool or rather than directly respond to the threatening behavior of others. The cycle of macho posturing is broken. The expectation of positive behavior extends to taking care of the setting. Psychologist Robert Sommer of the University of Califor- -4-

11 nia, Davis, suggests that institutionally hard architecture proclaims its invulnerability to attack and may be viewed as a challenge to be overcome. Site hardening, the most common response to vandalism, both in and out of institutions, does not deter vandalism. Destruction is rampant in many places which might appear impervious to human impact Vandalism is further reduced by the ability of residents to adjust and regulate the direct supervision setting. Much vandalism in jails, as in other settings, is less wanton destruction than accidental or attempts to adjust the setting. In these settings, unlike many traditional jails, chairs can be moved, TV sets have accessible controls and inmates can turn lights on and off. A few design oversights prove the exceptions which emphasize this point. In the Chicago MCC, the only living area lamp regularly broken was the one without an accessible switch which shone on the television making it hard to see. Similarily, inmates often stuff towels in room air vents to control air flow (called vandalism by maintenance staff). In the Contra Costa jail, VIPs from around the country slept in the jail before its official opening, and many stuffed towels in the vents to keep the drafts off their necks. A louvre control could prevent this vandalism. Making certain resources available in adequate quantities also works to lessen violence by reducing competition. Competition for televisions, telephones, or prime seats can lead to conflict. The Chicago MCC provided four TV areas for 44 inmates, while there were only two TV areas for 48 inmates in the New York MCC. Conflict over TV channels was common in New York, rare in Chicago. Our recommendations for the Tombs included adding more telephones to living units for inmate use. Competition for -phones was one of the few regular sources of conflict. The success of direct supervision jails raises a natural question: If they worked so well, why are jails still being built according to older models of operation and design? Why haven t correctional officials flocked on the bandwagon? There are several reasons. One is size. Many jails are simply too small (fewer than 50 beds) to afford the staff needed for this kind of operation. Also, many decision makers either don t know about direct supervision or don t know how well it has worked. Some architectural firms these officials depend upon for expertise are themselves unaware or reluctant to suggest a new direction for fear of losing a new contract. Since jails are an extraordinary expense for most local jurisdictions, politics and involved. It may be politically safer to build traditionally. Who wants to be accused of coddling criminals, especially if there should later be a killing, riot, or escape? (This may change as litigation makes jurisdictions financially liable for injuries in unsafe jails.) Direct supervision may be viewed as a threat by some. Its philosophy implies that if a jail doesn t operate well, the responsibility rests with the quality of administration rather than the failings of staff or inmates. Correctional officers are often initially skeptical about direct supervision, especially after years of contract bargaining based on (reasonable) assumptions of high job danger. For example, the officers union initially vigorously opposed direct supervision for the Tombs: officers who are there now strongly support the concept. Philosophical differences can also play a role in rejecting direct supervision. While direct supervision supporters run the gamut of correctional philosophies-separation from - 5 -

12 society vs. rehabilitation vs. punishment-some who sup port a punishment model firmly believe in harsher environments and greater staff-inmate separation. Others agree with University of Chicago criminologist Norval Morris who commented that, in this society, people arc sent to prison as punishment, not for punishment. Direct supervision supporters have no distinguishing political leanings. They include hardline old correctional officers and new criminology Ph.D. s, liberals as well as conservatives. Direct supervision is winning favor not simply because it is seen as a way of treating inmates more humanely, although that is critical for some. Supporters see it as a way of making correctional institutions work better and safer than ever before, for inmates as well as staff. The hardest and cruelest of jails have not deterred crime, as best we can tell, anymore than public hangings deterred London pickpockets in Charles Dickens time. However nice the direct supervision jail environment may be, there is no doubt it is still viewed as a jail by the inmates. Loss of freedom is the essential punishment, and there is no evidence anyone finds them preferable to being outside. Direct supervision will not directly affect our notoriously high recidivism rates. At the very least, however, it can reduce the harm traditional jails have done through degrading, terrifying, and assaultive conditions. At best, it can help provide a setting in which rehabilitative programs have a chance to work. Aaron Brown of the National Institute of Corrections says that direct supervision...is simply a better way of treating people...and that s who institutions are built for- people, inmates, and staff...it all comes down to this. Brown adds, correctional institutions can be designed to be people management institutions or hardware institutions. Direct supervision represents an attempt at people management. Billions. of tax dollars arc being wasted on jails and prisons short-sightedly being planned and built using traditional management anddesign concepts, which arc destined to produce more dangerous, stressful, and traumatic settings for inmates and the staff who operate them. We will have to live with these mistakes well into the next century. They are mistakes we don t have to make and cannot afford, economically or socially. As Chief Justice Warren Burger said, to put people behind walls and bars and do little or nothing to change them is to win a battle but lose a war. It is wrong. It is expensive. It is stupid. DIRECT SUPERVISION he direct supervision Tphilosophy is best explained by contrasting it to earlier design/management styles. The oldest style is referred to as providing Linear Remote Surveillance. Cells line up in rows and officers look into them by patrolling along separate corridors or along catwalks. Officers and inmates are physically separated, usually by bars. The officers have only intermittent views of inmate activity, with few opportunities for contact and communication with them The second-generation, Indirect Surveillance model, was developed in the 1960 s. Cells became rooms, and bars are replaced by solid doors. These rooms usually surround an open dayroom space for TV viewing, and other activities. Officers sit in secure glass enclosed control booths from which they observe, but rarely enter the living area and have only sporadic personal communication with inmates. In the third generation Direct Supervision living areas may look much like second generation facilities, although they are often larger and arc more likely to use softer materials

13 and fixtures. The critical difference is that there is no enclosed officer booth. officers spend their time in the housing module interacting with the inmates. The focus is on active supervision in place of more passive surveillance. The officer s job is to know about and be in control of activity. not just observe it. Says Aaron Brown of the NIC Washington office, the difference between observation (indirect surveillance) and supervision (direct supervision) is a wall...whether it s glass or concrete, it s a wall, and one can t effectively supervise from the other side of a wall. In fact, the officer s entire role has been redefined as a professional rather than a turnkey. Officers need skills in interpersonal communication. crisis intervention, and counseling. They may begin to see their role as a service provider and manager, rather than just a strong-arm security agent. We found, within a year after the Contra Costa Detention Facility opened, a striking change for the better in the sense of professionalism exhibited by officers there, and in how challenging and desirable they considered their new job assignment. The physical setting supports this management philosophy by providing an atmosphere in which interaction with inmates can occur more naturally. Inmate can move freely within the living area. Television areas are accessible. Telephones hang on the wall for inmates to use. They can go to their rooms when they want, although they usually need an officer to unlock the door. In most cases, they can let themselves out of their rooms, except during special lock-in periods and overnight. COMMANDMENTS OF DIRECT SUPERVISION MANAGEMENT Political scientist Linda Zupan, of washington state University, has suggested that the mere existence of a cohesive management philosophy helps set direct supervision jails apart from traditional ones. Their basic management principles, as identified by the National Institute of Corrections are: 1. Effective Control. The managers must be in total control of the facility at all times. There cannot be areas under de facto control of inmates. 2. Effective Supervision. Staff must be in direct contact with inmates and rely heavily on personal interaction with inmates for supervision. Manageable staff-inmate ratios arc critical for effective supervision. 3. Competent Staff. Recruitment, training, and leadership by management are necessary for direct supervision to operate as intended. 4. Safety of Staff and Inmates. The basic mission of a jail is to keep inmates safe and secure and not expose staff to undue risk. 5. Manageable and Cost- Effective Operations. Running a less dangerous institution allows for more architectural options, at reduced cost, providing an incentive for inmates to maintain acceptable standards of behavior. 6. Effective Communication. Frequent communication between staff and inmates and among staff is critical. 7. Classification and Orientation. Inmates should be closely observed in the first 48 hours of confinement (when suicide risk is greatest) and oriented to the operation of the setting. A key to-being able to provide expectations of positive behavior is identifying and selecting out individuals who will not conform to behavior norms of the living unit. 8. Justice and Fairness. Conditions of incarceration must respect inmates constitutional rights. Inmates must believe that they will be treated fairly and that there are adminstrative remedies for disputes

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17 SPECIAL FOCUS ON: COMPARISON OF DIRECT AND INDIRECT SUPERVISION FACILITIES Part I: Research Findings October 1989 his Special Focus article Tis the first of a two-part series that summarizes the newly-released findings of a National Institute of Corrections (NIC) research effort. NIC grant GG-1 sponsored an extensive comparison of direct and indirect supervision facilities, producing the Final Report: A Comparison of Direct and Indirect Supervision Facilities in June, The project Co-Directors, Jay Farbstein, Ph.D. and Richard E. Wener, Ph.D., have approved the application of the following excerpts from their report. I. INTRODUCTION Purpose. This report describes a study that attempts to quantify the differences between direct and indirect supervision and to specify the design implications of each mode so that jurisdictions faced with changing or expanding their correctional programs will have a more sound basis for choosing between them. Definitions. Modem indirect supervision facilities have been shaped by corrections tradition, changing views of prisoners rights, and technology. The most highly regarded layout consists of a central, enclosed control booth With one or more officers overlooking a dayroom surrounded by single cells (often referred to as a modular or podular plan, with an individual unit referred to as a pod ). A variation is to surround the dayroom with multiple occupancy cells or dorms. Pods -usually contain 48 to 60 beds which are further subdivided into 12- to 15-bed units, though, in some cases, a single control booth may observe closer to 100 cells. Durable, vandal-resistant building systems, fixtures, and finishes are commonly used. It is typical to find elaborate electronic detection, locking, and communication systems, all operated from the control station. The primary functions of the correctional officer in indirect supervision facilities is to operate the control systems, observe inmate behavior, provide limited intervention in response to minor infractions, and call for backup staff response in the event of a major incident. In many such facilities, officers communicate with inmates using a public address or intercom system. Staff safety is provided by a physical barrier placed between them and the inmates. Inmate security is provided by the use of individual cells and the ability of staff to muster a response team in the event of an incident. The operational and physical environments of direct supervision facilities take a different approach to. management. They are designed to express the expectation of acceptable behavior by the inmates. The physical design might be similar in overall configuration to indirect supervision facilities (with single cells arrayed around a dayroom), but often would also include added amenities such as carpeting, upholstered furnishings, several television spaces, game tables, and exercise equipment. Most important, correctional officers are stationed inside the living unit -ll-

18 with the inmates, not separated from them by a barrier. Personal interaction with the inmates is one of the primary duties of the officers in the direct supervision model. Security is heavily dependent upon the ability of highly trained staff to detect and defuse potential problems. Officers walk through and control the entire living unit, eliminating de facto inmate controlled territories. Direct supervision pods of 48 to 60 beds are not further subdivided, so that the officer can circulate among all the inmates without having to unloch doors. This also allows special use areas to be created within a much larger continuous dayroom space. The larger living area contributes to normalization of the environment and increases the tendency of inmates to gravitate into smaller, compatible groups. Physical amenities have one of two purposes in these facilities. First, they allow the inmates to fulfill basic needs independently. These are needs that the officers would have to fill if the amenity were not there, taking the officer away from the primary task of inmate supervision. For example, inmates are given ac- between staff and inmates can ass to controls for lights in be anywhere from formal and their cells. The other possible limited to informal and ongofunction of an amenity is its ing. But the single feature use in setting up expectations distinguishing direct superof rational and cooperative in- vision is the constant presence mate behavior. of the officer in the living unit. The combination of physical amenities and continual interaction between inmates and staff facilitates the use of behavior management techniques. If an inmate exhibits inappropriate behavior, the correctional officer s job is to recognize it and respond immediately. Consequences can range from restricting privileges to removing the inmate to a less desirable, more secure section of the facility. Inmates who are cooperative and well-behaved enjoy the privileges of a nicer environment. The ability to regain lost privileges gives inmates the motivation to improve their behavior. The power to manage the institution is taken away from dominant inmates and given to the correctional officers. Some institutions arc hybrids of the two idealized types of settings described above. For example, a facility which has control booths can, in addition, post officers directly in housing units. Finishes and furnishings in either type of facility can range from those that arc soft and commercial to those that are hard and institutional. The interactions This points to the issue the present study is intended to address. To date most of the information on the effects of direct supervision is based upon anecdotes from those using and happy with the method or from case studies of individual institutions. These studies report reductions in violence, homosexual rape, and vandalism, together with improved staff morale, greater job satisfaction, and reduction of staff stress. There is little evidence substantiated by recognized methods of inquiry to support or refute the claims being made for direct supervision. There has been no systematic, large scale comparison of direct and indirect supervision institutions. Evaluation Issues. It was the intention of this project to explore the following types of issues for the two types of facilities. (Note that for some issues sufficiently reliable data were not able to be collected). cost. The cost of construction, operating costs for staffing, maintenance, and repairs. Staff Impacts. Objective and subjective measures of staff injuries and use of sick time. -12-

19 Objective information on staffing ratios. Safety and Security. Objective and subjective measures of physical assaults, suicide attempts, and escapes. Environmental-Behavior Issues. The relationships between the built environment and behavior, such as the impact of soft furnishings, finishes, and inmate control of surroundings on such outcomes as incidents and vandalism. These features may or may not contribute to the overall management approach Design Issues. An overview of the range of design options associated with each supervision type including single versus multiple occupancy, types of finishes and furnishings, etc. Impact of Overcrowding. The extent of overcrowding and subjective impressions of the physical and operational ability to cope with it. Research Hypothesis. Our operating hypothesis, based on previous research, was that the direct supervision institutions would demonstrate a number of benefits compared to indirect supervision institutions. We expect them to report a greater level of safety for inmates and staff without reducing security, They would show increased levels of staffinmate contact and more quality contact (longer duration; more personal). We would also expect less use of staff sick leave, less inmate utilization of health care services, and less vandalism. Direct supervision settings are expected to be able to cope better with overcrowding. Within this model, it will be important to control for other variables such as staffing ratios, "Hardness or softness" of the environment, the availability of resources, and the type of inmate (long versus short time, type of offense. etc.). Overview of Methods. This project adopted a two-phased approach: Phase 1 involved the mailing of a detailed survey to a broad sample of direct and indirect supervision prisons and jails. Phase II consisted of in-depth onsite case studies at seven facilities. Phase I: Survey. A 19-page questionnaire was distributed to a sample of direct and indirect supervision jails and prisons. Phase II: Case Study Methods. the second phase of the study, we sought to collect more detailed data at a smallernumber of institutions concerning the physical environment as well as the behaviors and attitudes of users. Several modes were used for data gathering, including survey instruments, interview formats, and searches of administrative or archival data. II. FINDINGS FROM CASE STUDIES A. Behavioral Tracking. Tracking data provide a picture of the interactions that take place in the jails and prisons -where, how and with whom officers and inmates communicate. While the picture is complicated by special local conditions and design variations, patterns emerge which highlight the comparison between direct and indirect supervision facilities. There are several consistent differences between the four

20 direct supervision facilities as compared with the three indirect supervision facilities. The indirect facilities show a lower level of interaction overall and the interactions which do occur tend to be of a briefer duration (that is, most are quick exchanges, with fewer long conversations). In parallel, the amount of time which correctional officers in indirect facilities spend in any living unit is lower than for direct supervision facilities. (Note: The data for RSP and NSP represent a composite of the pair of living units supervised by correctional officers). Partly as a result, the amount of interaction between staff and inmates is considerably lower in indirect supervision facilities than in direct supervision ones. Officers in indirect facilities (except NSP) experience a far higher proportion of staff-to-staff (versus staff-to-inmate) interactions than do officers in direct facilities. In other words, direct supervision officers spend a higher percentage of their time interacting with inmates than do indirect supervision officers. RCJ is the extreme example of this phenomenon, where officers spend most of their time in control stations away from living units, interacting with other officers. The greatest staff-to-inmate interaction is seen at CHIL, where officers spend most of their time interacting with inmates in dayrooms. Direct supervision and indirect supervision facilities were similar in the way officer behavior was affected by having a second officer present. We noted (both in the formal data as well as in informal observations) that with a second officer present, both officers tend to spend more time in or near the officer station, and more time interacting with each other than with inmates. This information has implications for responses to overcrowding. In some settings, policy states that when inmate populations exceed certain levels (65 at CCC) a second correctional officer is added to the unit. While the second officer may be needed, our data suggest that he/she may also detract from the desired operation of direct supervision. Under the stress of the job, correctional officers appear to be drawn together and away from inmate contact. B. Questionnaires Perceptions of Inmates and Staff at Jails. Inmate respondents in the direct supervision jails rated their contacts with officers as more friendly and less hostile. They saw the of ficers as doing a better job protecting inmate safety and responding more quickly in case of an emergency. They indicated then was less vandalism, more privacy (especially for toilet use), and that the facilities were cleaner. They rated time in these facilities as less stressful. On the negative side, these direct supervision facilities were clearly rated as more crowded than the indirect supervision jail. This validates objective data that those particular direct supervision facilities were indeed much more crowded. A number of issues which were closely related to crowding were seen as problems by inmates in the direct supervision facilities (i.e., harder access to TV s, phones, etc.). There were also some inconsistencies among items. For example, inmates in the indirect supervision jail rated officers as involved more in counseling -and casual chatting (in spite of clear tracking data showing much less interaction at this facility). The view from the correctional officers was generally similar to those of inmates. Officers in the direct supervision jails rated interaction with inmates as mom frequent and mote positive than did officers in the indirect supervision jail. They rated their facility as having less risk of sexual assault, as safer for officers, and as affording a better

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